SEC

Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.

NSCC Publishes New Insurance Transaction Fees

February 16, 2005

NSCC Publishes New Insurance Transaction Fees
SEC Opens Door To XML Data

February 04, 2005

SEC Opens Door To XML Data
MFA to SEC: Limit Scope of Trade-Through Rule

February 01, 2005

MFA to SEC: Limit Scope of Trade-Through Rule
Insurer Warns About Regulatory Actions

January 27, 2005

Insurer Warns About Regulatory Actions
Clearing Corporation Prefers Risk-Based Capital Ratios

January 24, 2005

Clearing Corporation Prefers Risk-Based Capital Ratios
Seminar Probes Mysteries of SEC Registration Rule

January 18, 2005

Seminar Probes Mysteries of SEC Registration Rule
Suggestions for Bush, and the SEC

January 01, 2005

Suggestions for Bush, and the SEC
SEC Delays Final Decision on Merrill Lynch Rule

December 22, 2004

SEC Delays Final Decision on Merrill Lynch Rule
SEC Considers New Broker-Dealer Comp Solution

December 22, 2004

SEC Considers New Broker-Dealer Comp Solution
Feds Ask: When Are Broker-Dealers Advisors?

December 22, 2004

Feds Ask: When Are Broker-Dealers Advisors?